by Victoria Smith | 2022-09-01 | Our Thinking
overview On 11 July 2022, the Australian Securities Investments Commission (‘‘ASIC’’) published the ‘January-June 2022 consolidated regulatory document updated tables’, illustrating the changes made to the Regulatory Guides (“RGs”) from January 2022 to June 2022. The...
by Victoria Smith | 2022-08-31 | Our Thinking
On 28 June 2022, the Competition and Markets Authority (“CMA”) published its recommendations to the Secretary of State on whether the two EU Horizontal Block Exemption Regulations retained from EU law (“HBERs”), should be renewed or varied after 31 December 2022. This...
by Victoria Smith | 2022-08-25 | Our Thinking
summary On 27 July 2022, the Financial Conduct Authority (“FCA”) published a Policy Statement 22/9 (‘‘PS22/9’’), and provided feedback to its December Consultation Paper 21/36 (‘‘CP21/36’’), setting out the final updated rules on the new Consumer Duty (the “Duty”)...
by Victoria Smith | 2022-08-17 | Our Thinking, Templates & Guidance
The Financial Conduct Authority (“FCA”) has confirmed new rules to improve oversight of Appointed Representatives (“AR”), which will take effect on 8 December 2022 (“New Rules”). The AR regime is set in primary legislation and allows unauthorised firms to engage in...
by Victoria Smith | 2022-08-16 | Our Thinking
On 25 July 2022, the European Commission (the “Commission”) published the Commission Delegated Regulation (EU) 2022/1288 (the “Regulation”) in the Official Journal, setting out the details of the Regulatory Technical Standards (the “RTS”) relating to the Sustainable...
by Victoria Smith | 2022-08-08 | Our Thinking
summary The Australian Securities and Investments Commission (“ASIC”) released two key materials regarding the licencing and additional requirements for corporate collective investment vehicles (“CCIVs”), effective from 1 June 2022. ASIC initially published CP360:...
